CDZI

SEC source: 0001783184-20-000003 · primary_doc.xml · nonDerivative · entry 1

Webb de Macias Carolyn D · CIK 0001782759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,337

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001783184-20-000002 · primary_doc.xml · nonDerivative · entry 1

Echaveste Maria · CIK 0001783184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,337

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0000727273-20-000016 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,976

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning April 1, 2020.

SEC source: 0000727273-20-000015 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,688

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning April 1, 2020.

SEC source: 0000727273-20-000014 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,647

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning April 1, 2020.

SEC source: 0000727273-20-000013 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,891

SEC source: 0000727273-20-000012 · primary_doc.xml · nonDerivative · entry 3

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,697

SEC source: 0000727273-20-000012 · primary_doc.xml · nonDerivative · entry 2

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,773

SEC source: 0000727273-20-000012 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,786

SEC source: 0001191901-20-000003 · primary_doc.xml · nonDerivative · entry 1

Slater Scott S · CIK 0001519037 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,387

SEC source: 0001567619-20-005952 · doc1.xml · derivative · entry 8

LC CAPITAL MASTER FUND LTD · CIK 0001222051 · Former 10% Owner

LAMPE STEVEN · CIK 0001260818 · Former 10% Owner

CONWAY RICHARD F · CIK 0001299904 · Former 10% Owner

LAMPE, CONWAY & CO. LLC · CIK 0001299982 · Former 10% Owner

LC CAPITAL PARTNERS LP · CIK 0001175214 · Former 10% Owner

LC Capital Advisors LLC · CIK 0001375479 · Former 10% Owner

LC Capital Offshore Fund Ltd · CIK 0001293811 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,671

Underlying: Common Stock · 3,917,239 shares

Expires not disclosed

F14 · security: Series 1 Preferred Stock, par value $0.01 per share, issued pursuant to the terms of the Conversion and Exchange Agreement, dated 03/05/2020, between the Issuer and Master Fund. The Series 1 Preferred Stock is convertible only so long as the beneficial ownership of the Reporting Persons would not exceed 9.9% of the Common Stock outstanding immediately after giving effect to the conversion. The Series 1 Preferred Stock only has voting power to the extent that the Reporting Persons' voting power does not exceed 9.9% of the Common Stock outstanding at the time of the vote.

F15 · kind: Acquisition from the Issuer of Series 1 Preferred Stock in exchange for $26,441,360.21 principal amount of 2020 Notes.

F15 · shares: Acquisition from the Issuer of Series 1 Preferred Stock in exchange for $26,441,360.21 principal amount of 2020 Notes.

F16 · price: Each outstanding share of Series 1 Preferred Stock is convertible from and after March 5, 2020 and prior to the Mandatory Conversion Date (as defined below), at the option of the holder thereof, into that number of shares of Common Stock (subject to the limitations set forth in footnote 11 above) as is determined by multiplying one (1) by the conversion rate then in effect. On March 5, 2020, the conversion rate was 405.05.

F16 · derivative.exercise_date: Each outstanding share of Series 1 Preferred Stock is convertible from and after March 5, 2020 and prior to the Mandatory Conversion Date (as defined below), at the option of the holder thereof, into that number of shares of Common Stock (subject to the limitations set forth in footnote 11 above) as is determined by multiplying one (1) by the conversion rate then in effect. On March 5, 2020, the conversion rate was 405.05.

F17 · derivative.expiration_date: On March 5, 2025 (the "Mandatory Conversion Date"), each outstanding share of Series 1 Preferred Stock will automatically convert (subject to the limitations set forth in footnote 11 above) into that number of shares of Common Stock as is determined by multiplying one (1) by the conversion rate in effect on the Mandatory Conversion Date (the "Mandatory Conversion"). Any shares of Series 1 Preferred Stock remaining after the Mandatory Conversion Date shall automatically be converted into a non-voting preferred security that shall continue to be convertible at the option of the holder (subject to the limitations set forth in footnote 11 above).

F16 · derivative.underlying_shares: Each outstanding share of Series 1 Preferred Stock is convertible from and after March 5, 2020 and prior to the Mandatory Conversion Date (as defined below), at the option of the holder thereof, into that number of shares of Common Stock (subject to the limitations set forth in footnote 11 above) as is determined by multiplying one (1) by the conversion rate then in effect. On March 5, 2020, the conversion rate was 405.05.

F2 · ownership.direct: These securities (the "Securities") are owned by LC Capital Master Fund, Ltd ("Master Fund").

F3 · ownership.direct: The Securities may also be deemed to be beneficially owned by LC Capital Partners, L.P. ("Partners"), LC Capital Advisors, LLC ("Advisors"), Lampe, Conway & Co., LLC ("LC&C"), LC Capital Offshore Fund, Ltd. ("Offshore"), Steven G. Lampe and Richard F. Conway by virtue of the following: (i) Partners and Offshore beneficially own 100% of the outstanding shares of Master Fund, (ii) Advisors is the sole general partner of Partners, (iii) LC&C is investment manager to Partners, Offshore and Master Fund pursuant to certain investment management agreements and shares voting and dispositive power over the Securities, and (iv) Messrs. Lampe and Conway are the sole managing members of each of Advisors and LC&C.

F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Securities reported on this Form 4 except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the Securities for purposes of Section 16 for any other purpose.

SEC source: 0001567619-20-005952 · doc1.xml · derivative · entry 7

LC CAPITAL MASTER FUND LTD · CIK 0001222051 · Former 10% Owner

LAMPE STEVEN · CIK 0001260818 · Former 10% Owner

CONWAY RICHARD F · CIK 0001299904 · Former 10% Owner

LAMPE, CONWAY & CO. LLC · CIK 0001299982 · Former 10% Owner

LC CAPITAL PARTNERS LP · CIK 0001175214 · Former 10% Owner

LC Capital Advisors LLC · CIK 0001375479 · Former 10% Owner

LC Capital Offshore Fund Ltd · CIK 0001293811 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,917,238.55 shares

Expires 2020-03-05

F8 · security: 7.00% Convertible Notes Due 2020 (the "2020 Notes"), issued pursuant to the terms of a Note Exchange Agreement, dated 11/23/2015 (the "Second Exchange Agreement"), and an Indenture, dated 12/10/2015 (the "2020 Notes Indenture"), between the Issuer and U.S. Bank National Association, as trustee.

F13 · kind: Disposition to the Issuer of $26,441,360.21 principal amount of 2020 Notes in exchange for Series 1 Preferred Stock.

F13 · shares: Disposition to the Issuer of $26,441,360.21 principal amount of 2020 Notes in exchange for Series 1 Preferred Stock.

F10 · price: Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount ("2020 Notes Accreted Principal Amount") of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.

F10 · derivative.exercise_date: Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount ("2020 Notes Accreted Principal Amount") of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.

F11 · derivative.underlying_shares: The principal amount of the 2020 Notes accretes at a rate equal to 7.00% per annum (compounded quarterly) through March 5, 2020; provided that the amounts of principal accretion with respect to the 2020 Notes shall be determined as if the 2020 Notes had been issued and accretion had commenced on March 5, 2013. The calculations in columns 7 are based on the conversion rate of the 2020 Notes multiplied by the 2020 Notes Accreted Principal Amount.

F2 · ownership.direct: These securities (the "Securities") are owned by LC Capital Master Fund, Ltd ("Master Fund").

F3 · ownership.direct: The Securities may also be deemed to be beneficially owned by LC Capital Partners, L.P. ("Partners"), LC Capital Advisors, LLC ("Advisors"), Lampe, Conway & Co., LLC ("LC&C"), LC Capital Offshore Fund, Ltd. ("Offshore"), Steven G. Lampe and Richard F. Conway by virtue of the following: (i) Partners and Offshore beneficially own 100% of the outstanding shares of Master Fund, (ii) Advisors is the sole general partner of Partners, (iii) LC&C is investment manager to Partners, Offshore and Master Fund pursuant to certain investment management agreements and shares voting and dispositive power over the Securities, and (iv) Messrs. Lampe and Conway are the sole managing members of each of Advisors and LC&C.

F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Securities reported on this Form 4 except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the Securities for purposes of Section 16 for any other purpose.

SEC source: 0001567619-20-005952 · doc1.xml · derivative · entry 6

LC CAPITAL MASTER FUND LTD · CIK 0001222051 · Former 10% Owner

LAMPE STEVEN · CIK 0001260818 · Former 10% Owner

CONWAY RICHARD F · CIK 0001299904 · Former 10% Owner

LAMPE, CONWAY & CO. LLC · CIK 0001299982 · Former 10% Owner

LC CAPITAL PARTNERS LP · CIK 0001175214 · Former 10% Owner

LC Capital Advisors LLC · CIK 0001375479 · Former 10% Owner

LC Capital Offshore Fund Ltd · CIK 0001293811 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,441,360.2

Underlying: Common Stock · 2,504,434.09 shares

Expires 2020-03-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · security: 7.00% Convertible Notes Due 2020 (the "2020 Notes"), issued pursuant to the terms of a Note Exchange Agreement, dated 11/23/2015 (the "Second Exchange Agreement"), and an Indenture, dated 12/10/2015 (the "2020 Notes Indenture"), between the Issuer and U.S. Bank National Association, as trustee.

F12 · kind: Disposition to the Issuer of $16,904,930.13 principal amount of 2020 Notes in exchange for Common Stock and $0.63 in lieu of fractional shares.

F12 · shares: Disposition to the Issuer of $16,904,930.13 principal amount of 2020 Notes in exchange for Common Stock and $0.63 in lieu of fractional shares.

F10 · price: Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount ("2020 Notes Accreted Principal Amount") of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.

F10 · derivative.exercise_date: Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount ("2020 Notes Accreted Principal Amount") of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.

F11 · derivative.underlying_shares: The principal amount of the 2020 Notes accretes at a rate equal to 7.00% per annum (compounded quarterly) through March 5, 2020; provided that the amounts of principal accretion with respect to the 2020 Notes shall be determined as if the 2020 Notes had been issued and accretion had commenced on March 5, 2013. The calculations in columns 7 are based on the conversion rate of the 2020 Notes multiplied by the 2020 Notes Accreted Principal Amount.

F2 · ownership.direct: These securities (the "Securities") are owned by LC Capital Master Fund, Ltd ("Master Fund").

F3 · ownership.direct: The Securities may also be deemed to be beneficially owned by LC Capital Partners, L.P. ("Partners"), LC Capital Advisors, LLC ("Advisors"), Lampe, Conway & Co., LLC ("LC&C"), LC Capital Offshore Fund, Ltd. ("Offshore"), Steven G. Lampe and Richard F. Conway by virtue of the following: (i) Partners and Offshore beneficially own 100% of the outstanding shares of Master Fund, (ii) Advisors is the sole general partner of Partners, (iii) LC&C is investment manager to Partners, Offshore and Master Fund pursuant to certain investment management agreements and shares voting and dispositive power over the Securities, and (iv) Messrs. Lampe and Conway are the sole managing members of each of Advisors and LC&C.

F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Securities reported on this Form 4 except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the Securities for purposes of Section 16 for any other purpose.

SEC source: 0001567619-20-005952 · doc1.xml · derivative · entry 5

LC CAPITAL MASTER FUND LTD · CIK 0001222051 · Former 10% Owner

LAMPE STEVEN · CIK 0001260818 · Former 10% Owner

CONWAY RICHARD F · CIK 0001299904 · Former 10% Owner

LAMPE, CONWAY & CO. LLC · CIK 0001299982 · Former 10% Owner

LC CAPITAL PARTNERS LP · CIK 0001175214 · Former 10% Owner

LC Capital Advisors LLC · CIK 0001375479 · Former 10% Owner

LC Capital Offshore Fund Ltd · CIK 0001293811 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,346,290.3

Underlying: Common Stock · 2,498,709.68 shares

Expires 2020-03-05

F8 · security: 7.00% Convertible Notes Due 2020 (the "2020 Notes"), issued pursuant to the terms of a Note Exchange Agreement, dated 11/23/2015 (the "Second Exchange Agreement"), and an Indenture, dated 12/10/2015 (the "2020 Notes Indenture"), between the Issuer and U.S. Bank National Association, as trustee.

F9 · kind: Represents accreted principal as provided for by the terms of the 2020 Notes, which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).

F9 · shares: Represents accreted principal as provided for by the terms of the 2020 Notes, which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).

F9 · price: Represents accreted principal as provided for by the terms of the 2020 Notes, which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).

F10 · price: Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount ("2020 Notes Accreted Principal Amount") of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.

F10 · derivative.exercise_date: Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount ("2020 Notes Accreted Principal Amount") of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.

F11 · derivative.underlying_shares: The principal amount of the 2020 Notes accretes at a rate equal to 7.00% per annum (compounded quarterly) through March 5, 2020; provided that the amounts of principal accretion with respect to the 2020 Notes shall be determined as if the 2020 Notes had been issued and accretion had commenced on March 5, 2013. The calculations in columns 7 are based on the conversion rate of the 2020 Notes multiplied by the 2020 Notes Accreted Principal Amount.

F2 · ownership.direct: These securities (the "Securities") are owned by LC Capital Master Fund, Ltd ("Master Fund").

F3 · ownership.direct: The Securities may also be deemed to be beneficially owned by LC Capital Partners, L.P. ("Partners"), LC Capital Advisors, LLC ("Advisors"), Lampe, Conway & Co., LLC ("LC&C"), LC Capital Offshore Fund, Ltd. ("Offshore"), Steven G. Lampe and Richard F. Conway by virtue of the following: (i) Partners and Offshore beneficially own 100% of the outstanding shares of Master Fund, (ii) Advisors is the sole general partner of Partners, (iii) LC&C is investment manager to Partners, Offshore and Master Fund pursuant to certain investment management agreements and shares voting and dispositive power over the Securities, and (iv) Messrs. Lampe and Conway are the sole managing members of each of Advisors and LC&C.

F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Securities reported on this Form 4 except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the Securities for purposes of Section 16 for any other purpose.

SEC source: 0001567619-20-005952 · doc1.xml · nonDerivative · entry 1

LC CAPITAL MASTER FUND LTD · CIK 0001222051 · Former 10% Owner

LAMPE STEVEN · CIK 0001260818 · Former 10% Owner

CONWAY RICHARD F · CIK 0001299904 · Former 10% Owner

LAMPE, CONWAY & CO. LLC · CIK 0001299982 · Former 10% Owner

LC CAPITAL PARTNERS LP · CIK 0001175214 · Former 10% Owner

LC Capital Advisors LLC · CIK 0001375479 · Former 10% Owner

LC Capital Offshore Fund Ltd · CIK 0001293811 · Former 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,263,926

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Acquisition from the Issuer of Common Stock in exchange for $16,904,929.50 principal amount of 2020 Notes (as defined below).

F1 · shares: Acquisition from the Issuer of Common Stock in exchange for $16,904,929.50 principal amount of 2020 Notes (as defined below).

F2 · ownership.direct: These securities (the "Securities") are owned by LC Capital Master Fund, Ltd ("Master Fund").

F3 · ownership.direct: The Securities may also be deemed to be beneficially owned by LC Capital Partners, L.P. ("Partners"), LC Capital Advisors, LLC ("Advisors"), Lampe, Conway & Co., LLC ("LC&C"), LC Capital Offshore Fund, Ltd. ("Offshore"), Steven G. Lampe and Richard F. Conway by virtue of the following: (i) Partners and Offshore beneficially own 100% of the outstanding shares of Master Fund, (ii) Advisors is the sole general partner of Partners, (iii) LC&C is investment manager to Partners, Offshore and Master Fund pursuant to certain investment management agreements and shares voting and dispositive power over the Securities, and (iv) Messrs. Lampe and Conway are the sole managing members of each of Advisors and LC&C.

F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of the Securities reported on this Form 4 except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the Securities for purposes of Section 16 for any other purpose.

SEC source: 0001191901-20-000002 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,387

SEC source: 0001191901-20-000001 · primary_doc.xml · nonDerivative · entry 1

SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,887

SEC source: 0001189957-20-000003 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,562

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2020.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-20-000004 · primary_doc.xml · nonDerivative · entry 1

BROWN JEFFREY J · CIK 0001245377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,868

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2020.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-20-000002 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,603

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2020.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-20-000001 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,891

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2020.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001408441-19-000002 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,758

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning October 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001408441-19-000003 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,429

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning October 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001408441-19-000004 · primary_doc.xml · nonDerivative · entry 1

BROWN JEFFREY J · CIK 0001245377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,735

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning October 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001408441-19-000001 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,470

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning October 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-19-000012 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,412

F1 · shares: These shares were allocated to the Reporting Person under the Cadiz Inc. 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning July 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-19-000011 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,741

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as director of the Issuer for the 3-month period beginning July 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-19-000010 · primary_doc.xml · nonDerivative · entry 1

BROWN JEFFREY J · CIK 0001245377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,718

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning July 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001189957-19-000009 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,453

F1 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning July 1, 2019.

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0000902664-19-003025 · ownership.xml · nonDerivative · entry 1

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,458,219

F1 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed accounts for which Water Asset Management, LLC, a New York limited liability company (the "Reporting Person"), serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.

SEC source: 0001331313-19-000001 · primary_doc.xml · nonDerivative · entry 1

Pacini Raymond J · CIK 0001331313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,590

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001205303-19-000006 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,679

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001205303-19-000005 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,326

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001205303-19-000002 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,655

F2 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001205303-19-000003 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,367

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001205303-19-000004 · primary_doc.xml · nonDerivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,862

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001205303-19-000001 · primary_doc.xml · nonDerivative · entry 1

BOHN JOHN A · CIK 0001205303 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,807

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0001331313-19-000002 · primary_doc.xml · nonDerivative · entry 1

BROWN JEFFREY J · CIK 0001245377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,632

F1 · balance_after: Includes 1,914 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2019, which shares will vest on January 31, 2020.

SEC source: 0000902664-19-002090 · ownership.xml · derivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 291,057 shares

Expires 2020-03-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The Convertible Promissory Note issued pursuant to the Indenture, dated as of March 5, 2013 (the "Indenture"), between the Issuer and The Bank of New York Mellon Trust Company, N.A., as trustee, is convertible at any time at the conversion rate equivalent to 148.148 shares of the Issuer's common stock per $1,000 of the then accreted principal amount of the Convertible Promissory Note on the conversion date.

F1 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed accounts for which Water Asset Management, LLC, a New York limited liability company (the "Reporting Person"), serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.

SEC source: 0000902664-19-002090 · ownership.xml · nonDerivative · entry 1

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,258,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed accounts for which Water Asset Management, LLC, a New York limited liability company (the "Reporting Person"), serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.

SEC source: 0001189957-19-000008 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,412

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning April 1, 2019.

SEC source: 0001189957-19-000007 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,453

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning April 1, 2019.

SEC source: 0001189957-19-000006 · primary_doc.xml · nonDerivative · entry 1

BROWN JEFFREY J · CIK 0001245377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,718

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning April 1, 2019.

SEC source: 0001189957-19-000005 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,741

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning April 1, 2019.

SEC source: 0001189957-19-000004 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,629

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2019.

F2 · balance_after: Includes 1,573 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares vest on January 31, 2019.

SEC source: 0001189957-19-000003 · primary_doc.xml · nonDerivative · entry 1

BROWN JEFFREY J · CIK 0001245377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,935

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2019.

F2 · balance_after: Includes 393 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2018, which shares vest on January 31, 2019.

SEC source: 0001189957-19-000002 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,670

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2019.

F2 · balance_after: Includes 1,573 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares vest on January 31, 2019.

SEC source: 0001189957-19-000001 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,958

F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2019.

F2 · balance_after: Includes 1,573 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares vest on January 31, 2019.

SEC source: 0000902664-18-004323 · ownership.xml · nonDerivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,967,162

F1 · shares: Rebalancing transactions in which the Accounts (as defined below) purchased and sold the Common Stock in equal amounts with no change in the aggregate number of such shares of Common Stock owned by the Accounts as a result of such transactions.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.73 to $9.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F3 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed accounts (the "Accounts") for which Water Asset Management, LLC, a New York limited liability company (the "Reporting Person"), serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.

SEC source: 0000902664-18-004323 · ownership.xml · nonDerivative · entry 1

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,078,162

F1 · shares: Rebalancing transactions in which the Accounts (as defined below) purchased and sold the Common Stock in equal amounts with no change in the aggregate number of such shares of Common Stock owned by the Accounts as a result of such transactions.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.76 to $10.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F3 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed accounts (the "Accounts") for which Water Asset Management, LLC, a New York limited liability company (the "Reporting Person"), serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.